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Topic
Filings
11 guides in Finabase Learn
- Annual report A company's yearly report to shareholders summarizing results; in the US the detailed regulatory version is the Form 10-K.
- Auditor An independent accounting firm that examines a company's financial statements and gives an opinion on whether they are fairly stated.
- Fiscal year The 12-month period a company uses for its accounts, which may not match the calendar year; Apple's ends in late September.
- Form 10-K The annual report US public companies file with the SEC, with audited financial statements, risk factors and management discussion.
- Form 10-Q The quarterly report US public companies file with the SEC for each of the first three fiscal quarters, with unaudited statements.
- Form 13F The quarterly SEC report institutional managers with $100 million or more in US equities file to disclose their holdings.
- Form 4 The SEC filing in which company insiders report their purchases and sales of the company's stock, generally within two business days.
- Form 8-K A filing US public companies must make with the SEC within four business days of a major event such as an acquisition or CEO change.
- Prospectus The disclosure document for a securities offering or fund, describing the business, risks, terms and fees, filed with the SEC.
- Proxy statement The SEC filing (Schedule 14A, DEF 14A) a company sends before a shareholder vote, covering board nominees, executive pay and proposals.
- Securities and Exchange Commission (SEC) The US federal agency that regulates securities markets, enforces disclosure and anti-fraud laws, and oversees exchanges, brokers and funds.
Educational content, not investment advice. Finabase Learn explains how markets and tools work. It does not recommend any security or strategy, and examples are for illustration only. Investing involves risk, including the loss of principal. Rules and figures are for the United States unless stated and can change — check the cited source before you act.